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What's New? ... The DALBAR Blog

  • Financial Advisor
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A Summary of Proposed Rule 206(4)-11
November, 28 2022 Cory Clark

Background On October 26, 2022, the SEC released Proposed Rule 206(4)-11, which would require advisers to conduct due diligence prior to engaging a 3...

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Glossary
QAIB Glossary
March, 11 2022 Cory Clark

Quantitative Analysis of Investor Behavior Terms Explained For purchasers of DALBAR's Annual Investor Behavior Study, QAIB, terms used in the...

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QAIB Frequently Asked Questions (FAQ)
March, 11 2022 Cory Clark

How Much Does QAIB Cost? The Full Study price is $975 (preorder and save $180) and includes a Derivative Works license to use data in customized...

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Adviser Marketing: Standing Behind Endorsements
February, 10 2022 Cory Clark

What Does the Adviser Marketing Rule Cover? The SEC recently published new rules on adviser marketing that became effective in May of 2021. The new...

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Adviser Marketing: A New Day for Testimonials
February, 10 2022 Cory Clark

Financial Adviser Marketing Breaks out of the Stone Age The arena of adviser marketing has historically been approached conservatively, and with good...

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Adviser Marketing: What's an Advertisement?
February, 10 2022 Cory Clark

The SECs New Adviser Marketing Rule The SEC published new rules on adviser marketing that became effective in May of 2021. The new rule brings...

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4 Quick Observations on the DOL's Proposed ESG Rule
4 Quick Observations on the DOL's Proposed ESG Rule
October, 14 2021 Cory Clark

Today, the Department of Labor published its proposed rules on ESG investments and proxy voting within ERISA plans. The proposed rule is entitled, "...

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Insurance
Insurer Provides Best Practices to Avoid ERISA Litigation
September, 20 2021 Cory Clark

With the extreme rise in ERISA lawsuits has also come a rise in insurance premiums. One insurer shared their tips for plan sponsors to mitigate the...

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The 3 Fundamental Questions of Retirement Planning
September, 17 2021 Cory Clark

  “If you fail to plan, you’re planning to fail.” These words, from the immortal Founding Father Benjamin Franklin, have been recited countless times...

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